13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-03, with 3,930 holding rows worth $183,140,203,000.
- Accession
- 0000950123-17-000787
- Filer
- CIK 820027
- Filed
- 2017-02-03
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A combination report, 7,326 entries on the cover page, a total value of $183,140,203,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $183,140,203,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerColumbia Management Investment Advisers, LLC028-10477
- reports for this filerAmeriprise Trust Co028-10458
- reports for this filerAmeriprise Certificate Co028-00140
- reports for this filerRiverSource Life Insurance Co028-00143
- reports for this filerRiverSource Life Insurance Co of New York028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD028-10644
- reports for this filerAmeriprise Financial Services, Inc.028-14918
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Co 028-10458
- included managerAmeriprise Certificate Co 028-00140
- included managerRiverSource Life Insurance Co 028-00143
- included managerRiverSource Life Insurance Co of New York 028-10460
- included managerThreadneedle Asset Management Holdings LTD 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 5,594 | $290,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 19,551 | $290,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 2,797 | $289,000 | thousands by filing date | |
| Qwest Corp | 74913G105 | COM | 11,934 | $289,000 | thousands by filing date | |
| SCE TR I TR PREF SECS $1.40625 PFD | 78406T201 | PREFERRED | 12,368 | $288,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 5,320 | $286,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 23,464 | $285,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 10,387 | $284,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 12,588 | $283,000 | thousands by filing date | |
| DAYCO LLC | 570388108 | COM | 9,586 | $283,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 12,115 | $282,000 | thousands by filing date | |
| BB&T CORP $1.4625 PFD | 054937206 | PREFERRED | 11,511 | $282,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 24,435 | $282,000 | thousands by filing date | |
| STANDARD BANK GROUP LTD ADR | 853118206 | ADR | 25,437 | $281,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 210,034 | $281,000 | thousands by filing date | |
| GOLDMAN SACHS 5.95% PFD SER I | 38145G209 | PRD | 11,125 | $281,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 10,683 | $280,000 | thousands by filing date | |
| SWISSCOM AG-SPONSORED ADR | 871013108 | COM | 6,228 | $279,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 30,526 | $278,000 | thousands by filing date | |
| MERRILL LYNCH 6.45% | 590199204 | PRF | 11,051 | $278,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 10,817 | $277,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 17,451 | $276,000 | thousands by filing date | |
| ITOCHU CORP SPONS ADR | 465717106 | FOREIGN | 10,414 | $275,000 | thousands by filing date | |
| BancOfCalifornia 8.00. Cal2018 | 05990k403 | PFD | 10,660 | $275,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 46,522 | $274,000 | thousands by filing date | |
| KASIKORNBANK PCL UNSPON ADR | 485785109 | COM | 13,932 | $274,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC $1.438 PFD | 854502705 | PREFERRED | 11,279 | $274,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 10,506 | $274,000 | thousands by filing date | |
| SEIKO EPSON CORP FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 81603X108 | AMERICAN DEPOSITORY | 25,993 | $273,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 5.875% | 879433795 | PREFERR | 12,115 | $272,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 6,141 | $272,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 24,643 | $271,000 | thousands by filing date | |
| MORGAN STANLEY | 61762V200 | Common Stock | 9,592 | $270,000 | thousands by filing date | |
| BANK AMERICA CORP 1 625 PFD | 060505310 | PREFERRED | 12,651 | $270,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 5,165 | $269,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505260 | COMMON STOCK | 10,792 | $269,000 | thousands by filing date | |
| Colgate Palmolive | 172967333 | CL | 10,240 | $268,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 105,160 | $268,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 79,640 | $268,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 3,808 | $267,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 10,708 | $266,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 10,587 | $266,000 | thousands by filing date | |
| RENAULT SA | 759673403 | USD | 14,947 | $266,000 | thousands by filing date | |
| RAYMOND JAMES FINANCIAL INC SR NT 6.9 PFD | 754730208 | PREFERRED | 10,486 | $266,000 | thousands by filing date | |
| GEMALTO NV-SPONSORED ADR | 36863N208 | COM | 9,185 | $266,000 | thousands by filing date | |
| AMTRUST FINL S PFDPFD SER D | 032359887 | PFD SER D | 10,450 | $264,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 32,010 | $264,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 6,778 | $264,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 5,678 | $263,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 17,618 | $263,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 8,297 | $262,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 17,575 | $262,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 29,814 | $262,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 5,384 | $261,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 4,519 | $260,000 | thousands by filing date | |
| EXPERIAN GP LTD ADR | 30215C101 | FOREIGN | 13,390 | $260,000 | thousands by filing date | |
| TESCO PLC SPONSORED ADR | 881575302 | ADUS | 33,941 | $258,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 9,941 | $257,000 | thousands by filing date | |
| Hartford Financial Serv | 416518504 | COM | 8,686 | $257,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 13,330 | $254,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 14,941 | $254,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 7,970 | $254,000 | thousands by filing date | |
| FUJIFILM HLDGS CORP ADR | 35958N107 | ADR | 6,682 | $253,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 17,840 | $253,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 43,627 | $253,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 15,255 | $252,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 14,704 | $251,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 53,306 | $251,000 | thousands by filing date | |
| ENTERGY ARKANSAS | 29364D761 | PFD | 11,546 | $251,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 6,848 | $249,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 30,466 | $249,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 22,080 | $249,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 9,962 | $249,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 2,266 | $248,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 2,986 | $248,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 7,117 | $246,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 484 | $246,000 | thousands by filing date | |
| Citigroup Inc 6.875 PFD | 172967341 | PFD | 9,004 | $246,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 10,118 | $245,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 7,535 | $244,000 | thousands by filing date | |
| DENSO CORPORATION-UNSPON ADR | 24872B100 | COM | 11,200 | $243,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 14,864 | $243,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 66,000 | $243,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 9,581 | $243,000 | thousands by filing date | |
| HOME PRODUCT CENTER PCL-NVDR | 437298979 | GDR | 854,800 | $243,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 6,937 | $242,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 15,129 | $241,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 11,268 | $241,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 3,340 | $241,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 11,368 | $240,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 6,641 | $240,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 7,009 | $239,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 21,319 | $238,000 | thousands by filing date | |
| DNB ASA-SPONSOR ADR | 23328E106 | COM | 1,599 | $238,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 1,970 | $237,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 20,914 | $237,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 24,995 | $235,000 | thousands by filing date | |
| CIE GENERALE DES ETABLISSEMENTS MICHELIN SCA UNSPONS ADR | 59410T106 | FOREIGN | 10,542 | $234,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 8,693 | $234,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 369,473 | $233,000 | thousands by filing date | |
| SOUTHERN CO PFD JR SUB NOTES | 842587305 | Preferred Securities (MIDS, QIDS, TOPRS...) | 10,681 | $233,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 4,295 | $232,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 20,909 | $232,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 23,039 | $232,000 | thousands by filing date | |
| Pandora Media | 698341104 | COM | 7,075 | $231,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 10,796 | $230,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 11,287 | $230,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 4,360 | $229,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 5,846 | $228,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 3,031 | $228,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 5,097 | $228,000 | thousands by filing date | |
| GETINGE AB-UNSPONSORED ADR | 37427X104 | COM | 14,109 | $228,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 9,040 | $228,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 13,884 | $227,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 9,661 | $227,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 13,439 | $227,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 11,327 | $226,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 9,868 | $226,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 4,781 | $226,000 | thousands by filing date | |
| NEXTERA ENERGY | 65339K803 | PFD | 10,273 | $226,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 19,850 | $225,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 12,260 | $225,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 4,602 | $224,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 13,690 | $224,000 | thousands by filing date | |
| CenturyLink SnNotes 7.0% 2050 | 74913G402 | PFD | 9,079 | $224,000 | thousands by filing date | |
| EBAY INC NOTE | 278642202 | Preferred Stock | 8,632 | $224,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 3,978 | $223,000 | thousands by filing date | |
| Grupo Financiero Banorte SAB de CV | 40052P107 | ADR | 8,970 | $223,000 | thousands by filing date | |
| Daiwa Securities Group Inc Sp | 234064301 | ADR | 36,455 | $223,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 18,595 | $222,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 3,126 | $222,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 28,492 | $222,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 4,031 | $221,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 23,246 | $221,000 | thousands by filing date | |
| Mercedes Benz Group Ag Reg Shs | d1668r123 | USD | 2,975 | $220,000 | thousands by filing date | |
| AMARANTH PARTNRS LLC | 023025992 | LP | 284,026 | $220,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 12,133 | $220,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 37,403 | $218,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 8,024 | $218,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 10,229 | $218,000 | thousands by filing date | |
| US CELLULAR COR PFD | 911684603 | PFDs, REITs, | 8,520 | $218,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,722 | $217,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 23,285 | $217,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 5,618 | $217,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 6,432 | $216,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES HOLDINGS P | 02077Y208 | PRF | 25,469 | $216,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 10,618 | $215,000 | thousands by filing date | |
| Astronics Class B Convertible | 046433207 | COM | 6,343 | $215,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 15,384 | $214,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 23,720 | $214,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 2,774 | $213,000 | thousands by filing date | |
| DIGITAL RLTY TR - PFD G | 253868889 | EQPFD | 8,899 | $213,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 3,266 | $212,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 14,960 | $211,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 13,714 | $211,000 | thousands by filing date | |
| Laaco Ltd L P Uts | 505346106 | COM | 99 | $210,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 8,933 | $210,000 | thousands by filing date | |
| Allstate Corp 5.62 | 020002408 | PFD | 8,497 | $210,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 6,675 | $209,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 13,094 | $209,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION PFD1/1200 SR1 NON-CUMULATIVE 3 | 060505633 | Preferred Stock | 10,450 | $209,000 | thousands by filing date | |
| SUBSEA 7 SA | 864323100 | COM | 16,523 | $208,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,415 | $207,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 8,346 | $207,000 | thousands by filing date | |
| AAC TECHNOLOGIES HOLDINGS INC ADR | 000304105 | COM | 2,270 | $205,000 | thousands by filing date | |
| PERSIMMON UNSPONSORD ADR | 715318101 | ADR | 4,711 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 4,485 | $204,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 15,131 | $204,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 10,821 | $203,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 10,286 | $202,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 9,744 | $202,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 6,406 | $202,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 8,358 | $202,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 9,026 | $202,000 | thousands by filing date | |
| COLOPLAST AS UNSPONSORD ADR | 19624Y101 | Stock | 29,854 | $201,000 | thousands by filing date | |
| TOKYO ELECTRON LTD ADR | 889110102 | COM | 8,389 | $200,000 | thousands by filing date | |
| FUJI HEAVY INDUS-UNSPONS ADR | 359556206 | COM | 9,868 | $200,000 | thousands by filing date | |
| WH GROUP LTD ADR | 92890T106 | COMMON | 12,491 | $200,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 29,405 | $199,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 81,167 | $199,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,654 | $197,000 | thousands by filing date | |
| TELIA CO UNSPON ADR | 87960M205 | COM | 24,553 | $197,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 32,242 | $195,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 11,653 | $194,000 | thousands by filing date | |
| Ap Moller-Maersk | 00202F102 | Equity | 24,082 | $193,000 | thousands by filing date | |
| JAPAN EXCHANGE GROUP ADR | 471059105 | COM | 26,833 | $192,000 | thousands by filing date | |
| BANK MANDIRI TBK ADR | 69367U105 | COM | 22,609 | $191,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 39,242 | $189,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 18,950 | $189,000 | thousands by filing date | |
| SAFRAN S A SPON ADR | 786584102 | ADUS | 10,382 | $188,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 13,202 | $187,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 14,478 | $185,000 | thousands by filing date | |
| SUN HUNG K | 86676H302 | USD | 14,704 | $185,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 11,438 | $184,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 13,360 | $183,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 32,645 | $180,000 | thousands by filing date | |
| ANGLO AMERICAN PLC ADR | 03485P300 | ADR | 25,341 | $179,000 | thousands by filing date | |
| ENGIE SA ADR | 29286D105 | ADR | 13,874 | $176,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 12,337 | $174,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 14,688 | $170,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 11,803 | $170,000 | thousands by filing date | |
| DANSKE BANK AS ADR | 236363206 | COM | 11,127 | $169,000 | thousands by filing date | |
| GAZPROM OAO-SPON ADR | 368287991 | COM | 33,193 | $168,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 14,110 | $167,000 | thousands by filing date | |
| Barclays PLC | G08036124 | COM | 62,224 | $167,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 22,732 | $166,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 16,624 | $165,000 | thousands by filing date | |
| SHOPRITE HOLDINGS-SPN ADR | 82510E209 | ADR | 13,251 | $165,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 12,177 | $162,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 13,100 | $161,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 13,742 | $161,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 22,757 | $157,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 10,490 | $157,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 43,505 | $156,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 11,242 | $155,000 | thousands by filing date | |
| SONIC HEALTHCARE LTD ADR ADR | 83546A104 | COM | 10,070 | $155,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 14,351 | $153,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 10,293 | $153,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 10,307 | $153,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 10,164 | $153,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 16,333 | $149,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 11,528 | $148,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 11,201 | $146,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 16,742 | $144,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 19,185 | $144,000 | thousands by filing date | |
| MARKS & SP | 570912105 | USD | 16,862 | $144,000 | thousands by filing date | |
| TERNA SPA UNSPONSORED ADR | 88088L103 | COM | 10,407 | $144,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 24,201 | $144,000 | thousands by filing date | |
| YAHOO! JAPAN CORP-UNSPON ADR | 98433V102 | COM | 18,891 | $144,000 | thousands by filing date | |
| DEUTSCHE BOERSE UNSPONSORD ADR | 251542106 | COM | 17,777 | $141,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS P FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 775781206 | AMERICAN DEPOSITORY | 16,775 | $140,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 10,817 | $139,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 10,074 | $139,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 56,328 | $138,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 12,122 | $138,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 11,527 | $137,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 17,093 | $137,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 29,608 | $137,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 18,758 | $136,000 | thousands by filing date | |
| QBE INSURANCE GROUP SPN ADR | 74728G605 | COM | 15,029 | $135,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 11,595 | $133,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 18,565 | $131,000 | thousands by filing date | |
| British Land Co PLC | 110828100 | Common Stock | 16,448 | $131,000 | thousands by filing date | |
| Centrica PLC Spon ADR | 15639k300 | COM | 11,190 | $129,000 | thousands by filing date | |
| DEX MEDIA 7/16 | BAX63QZ09 | COM | 51,678 | $129,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 11,163 | $125,000 | thousands by filing date | |
| LEONARDO SPA-ADR | 52660W101 | COM | 17,699 | $124,000 | thousands by filing date | |
| DUNDEE CORPORATION | 264901109 | COMMON STK | 27,900 | $124,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 54,496 | $123,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 10,398 | $121,000 | thousands by filing date | |
| TREASURY WINE ESTATES ADR | 89465J109 | COM | 15,923 | $121,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 20,441 | $120,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 14,050 | $120,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 22,189 | $119,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,672 | $117,000 | thousands by filing date | |
| CIELO SA | 171778202 | Common Stock | 13,674 | $117,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 22,480 | $116,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 34,592 | $116,000 | thousands by filing date | |
| THK CO LTD-UNSPON ADR | 872434105 | COM | 10,182 | $113,000 | thousands by filing date | |
| MEG ENERGY CORP ADR | 552704108 | Common Stocks | 16,400 | $113,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 12,582 | $112,000 | thousands by filing date | |
| COMMERZBANK AG SPONS ADR | 202597605 | COM | 14,619 | $112,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 12,561 | $109,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 24,956 | $109,000 | thousands by filing date | |
| Keppel Ltd Sponsored | 492051305 | ADR | 13,552 | $108,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 12,560 | $107,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 12,327 | $106,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 15,176 | $104,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 11,002 | $100,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 10,146 | $100,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 21,117 | $100,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 17,838 | $99,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 14,373 | $95,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 11,289 | $93,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 16,813 | $93,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 28,512 | $90,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 152,000 | $90,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 14,907 | $88,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 16,933 | $87,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 11,283 | $86,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 12,456 | $86,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 18,175 | $85,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 11,446 | $84,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 15,775 | $82,000 | thousands by filing date | |
| RSA INSURANCE GROUP PLC ADR | 74971A206 | ADR | 11,269 | $82,000 | thousands by filing date | |
| CHINA SHENHUA UNSPONS ADR | 16942A302 | COM | 10,970 | $81,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 12,100 | $76,000 | thousands by filing date | |
| CITY DEVELOPMENTS-SPONS ADR | 177797305 | COM | 13,313 | $75,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 11,462 | $73,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 13,860 | $73,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 10,027 | $69,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 18,325 | $67,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 13,257 | $65,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 18,769 | $64,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 14,865 | $61,000 | thousands by filing date | |
| URANIUM PARTN CORP COM | 917017105 | Common Stock | 21,600 | $61,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 11,036 | $58,000 | thousands by filing date | |
| InvenTrust Properties Corp REI | 46124J102 | COM | 17,911 | $56,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 15,793 | $55,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,907 | $54,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 82,850 | $53,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 12,450 | $50,000 | thousands by filing date | |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 12,297 | $48,000 | thousands by filing date | |
| SUMITOMO MITSUI TRUST HOLDINGS | 86562X106 | USD | 13,430 | $48,000 | thousands by filing date | |
| SAFEWAY INC PDC CVR | BAX524Z92 | COM | 386,195 | $48,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 18,354 | $47,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 10,733 | $46,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 15,525 | $45,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 13,392 | $42,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 42,000 | $42,000 | thousands by filing date | principal |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 30,202 | $42,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 13,597 | $41,000 | thousands by filing date | |
| PARKS! AMERICA INC | 701455107 | COM | 371,000 | $41,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 11,755 | $39,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 18,000 | $38,000 | thousands by filing date | principal |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,500 | $34,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 30,000 | $34,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 10,200 | $33,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 11,000 | $33,000 | thousands by filing date | principal |
| HHGREGG INC | 42833L108 | COM | 22,610 | $32,000 | thousands by filing date | |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 16,934 | $30,000 | thousands by filing date | |
| BOMBARDIER INC FCLASS B | 097751200 | COM | 18,750 | $30,000 | thousands by filing date | |
| MILLENNIUM HEALTH LLC | BAX5NUSL2 | COM | 16,788 | $29,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 15,000 | $28,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 15,215 | $27,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 36,243 | $27,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 18,200 | $27,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 10,000 | $26,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 15,312 | $22,000 | thousands by filing date | |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 675,100 | $22,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 29,351 | $20,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 20,000 | $20,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 13,000 | $18,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 11,000 | $18,000 | thousands by filing date | principal |
| GROWBLOX SCIENCES INC | 399847102 | COM | 50,000 | $17,000 | thousands by filing date | |
| NELSON EDUCATION LTD | BAX5GUW92 | COM | 167,955 | $15,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 11,146 | $14,000 | thousands by filing date | |
| URTHECAST CORP COM | 91731X102 | Common Stock | 22,000 | $14,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 13,000 | $13,000 | thousands by filing date | principal |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 13,000 | $13,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 14,000 | $13,000 | thousands by filing date | principal |
| Female Health Company | 314462102 | COM | 12,879 | $12,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 11,000 | $11,000 | thousands by filing date | principal |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 10,960 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 10,000 | $10,000 | thousands by filing date | principal |
| SPECIAL DIVERSIFIED OPPORTUNITIES INC COM | 84740Q101 | COM | 11,203 | $10,000 | thousands by filing date | |
| Novo Resources Corp | 67010B102 | CS | 15,000 | $9,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 13,100 | $8,000 | thousands by filing date | |
| TITAN MEDICAL INC. | 88830X108 | COM | 30,523 | $7,000 | thousands by filing date | |
| HIGHLANDS REIT INC | 43110a104 | LP | 17,911 | $6,000 | thousands by filing date | |
| PHARMACYTE BIOTECH INC | 71715X104 | COMMON STOCK | 40,000 | $6,000 | thousands by filing date | |
| TERRA TECH CORP | 88102J100 | REIT ETF | 19,745 | $6,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $5,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 100 | $4,000 | thousands by filing date | put |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 13,388 | $4,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J102 | COMMON | 10,000 | $4,000 | thousands by filing date | |
| BALTIA AIR LINES INC COM | 058823105 | SHS | 1,968,333 | $3,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 12,000 | $3,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 10,248 | $2,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 24,650 | $2,000 | thousands by filing date | |
| UMED HOLDINGS INC | 90288A101 | COM | 12,500 | $2,000 | thousands by filing date | |
| QUANTUM ENERGY INC | 747645208 | COM | 10,000 | $2,000 | thousands by filing date | |
| AMERICAN FILMS INC | 026040105 | COM | 203,500 | $2,000 | thousands by filing date | |
| ECOSPHERE TECHNOLOGIES INC COM | 27922x105 | COM | 16,800 | $1,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 16,283 | $1,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 11,444 | $1,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 378,451 | $1,000 | thousands by filing date | |
| SUNERGY INC PAR $.001 | 86732G306 | COM | 1,464,555 | $1,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 63,023 | $1,000 | thousands by filing date | |
| GROWLIFE INC COM | 39985X104 | Stock | 40,500 | $1,000 | thousands by filing date | |
| PRIMA BIOMED LTD | Q7750W108 | COM | 20,000 | $1,000 | thousands by filing date | |
| CAMEO RESOURCES CORP | 133240101 | COM | 33,519 | $1,000 | thousands by filing date | |
| OILSANDS QUEST INC COM | 678046103 | COM | 38,050 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST PL FINL CORP COM | 33610t109 | COM | 25,190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Amerityre Corp | 03073V107 | Equity | 20,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST HORIZON NAT'L FRACTIONAL | DCA517101 | COMMON STOCK | 134,548 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLONIAL BANCGROUP INC | 195493309 | COMMON STOCK | 21,027 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LABOR SMART INC | 50541a108 | COM | 125,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEBT RESOLVE INC XXXREGISTRATION REVOKED BY THE SEC EFF: 05/28/21 | 24276R206 | COMMON STOCK | 28,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EVERGREEN ENERGY INC | 30024B203 | COMMON STOCK | 19,248 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPYGLASS RES CORP COM | 852193101 | COM | 12,589 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPONGETECH DELIVERY XXXREGISTRATION REVOKED BY THE SEC EFF: 10/21/23 | 849109103 | STOK | 265,177 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GPSIndustriesInc.(Delisted12/18/12,CH117/09) | 383870102 | COMMON | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVERSITY GENERAL HEALTH SYSTEM | 914270103 | COM | 14,911 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY STAR URANIUM & METAL | 53123T206 | COM | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIG Fractional CUSIP | ACG874152 | Com | 87,326 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRAC ENBRIDGE ENERGY MGMT | CKC50X106 | EQUITY | 59,265 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MSGI SEC SOLUTIONS INC | 553570102 | EQUITY | 76,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mirant Corp (Worthless) | 604675991 | COM | 26,956 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MF GLOBAL HOLDINGS LTD | 55277J108 | COMMON | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GERBER SCIENTIFIC INC RTS | 37373ESC5 | WT | 124,138 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RHODES COMPANIES | 762356XX6 | COM | 109,053 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FAIRLANE MANAGEMENT CORP | 305059107 | COM | 52,004 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLASHPOINT TECHNOLOGY | 33899A979 | COM | 246,914 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AT HOME CORPORATION | 045919AF4 | CONV BND | 4,193,138 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| HAIGHTS CROSS COMM INC | 405990425 | COM | 302,134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANEI CORP | 409998168 | COM | 49,382 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR QUAL FRACTIONS | DDJ32D101 | COM | 23,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALPINE CORP ESCROW 4 | 131ESC9C1 | COM | 29,236,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAM CAPITAL LLC | 749200994 | LP | 3,654,271 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN RARE EARTHS & | 02916V100 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINOFRESH HEALTHCARE INC | 82935D109 | COM | 23,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIASPACE INC | 92554W106 | COM | 195,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZAP COM STK | 98912M201 | COM | 26,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 13,106 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 12,265 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR Corp Escrow | 001ESC102 | COM | 237,666 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACK DRAGON RESOURCE COS INC | 09202T103 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW WORLD GOLD CORPORATION COM | 649285103 | COM | 2,110,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADUDDELL INDS INC COM | 007391105 | Stock | 20,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REGENECA INC | 75887R100 | Stock | 85,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Xhibit Corp Inc | 98419u102 | U.S. COMMON STOCK | 11,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 188,529 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYBRID COATING TECHNOLOGIES | 44860A203 | COM | 35,125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICRO-ASI INC/TX | 594961104 | COM | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSENSA HLDGS CVR | N71CVR992 | COM | 16,099 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HIBU MIDCO SHARES | BAX64W607 | COM | 623,323 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOCIAL MEDIA VENTURES INC | 833626104 | COM | 250,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTH AMERICAN MINERALS | 836303107 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WI-TRON INC | 96684U104 | COM | 300,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KWIKWEB.COM INC | 501526107 | COM | 21,885 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDISYS TECHNOLOGIES INC | 584953103 | COM | 44,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SENDTEC INC | 81688A106 | COM | 27,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BONANZA OIL & GAS INC | 097839104 | COM | 26,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOIP GLOBAL INC | 36293V200 | COM | 25,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOODRICH PETROLEUM CORPORATION | 382410132 | WT | 28,071 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOODRICH PETROLEUM ESCROW | 382ESCAF8 | COM | 7,599,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HIGHLINE TECHNICAL INNOVATIO | 43112C108 | COM | 31,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-000787 | this filing | 2017-02-03 | acceptance time not in the bulk data set |